DFX Intelligence

R•• T•••• B•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)40 years in industry

R•• T•••• B•••

Advisor at C•••••• I••••••••• A••••••• S•••••••• L••

FUQUAY VARINA, NC | RALEIGH, NC

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Search this name across graphsid dfx:ria:d8c47f1f-b822-c34c-d808-acbbe17f1f54

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 25, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C•••••• I••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 11, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• I••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jan 2, 2013	n/a	yes	RALEIGH, NC\|FUQUAY VARINA, NC	Current employment
C•• A•••••••• L••	n/a	Apr 25, 2006	Dec 31, 2012	no	FUQUAY-VARINA, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•• A•••••••• L••	C•••••• I••••••••• A••••••• S•••••••• L••	Dec 31, 2012	Jan 2, 2013	2	Bulk transfer	Other

Relationships

Registered with (2)

→ C•••••• I••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jan 2, 2013 to presentfactForm ADV
→ C•• A•••••••• L••Registered adviserregistration: previous registration
Apr 25, 2006 to Dec 31, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d8c47f1f-b822-c34c-d808-acbbe17f1f54
First observed: Apr 25, 2006
Last observed: Sep 15, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.